Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00951 Abner J. Schwartz Name of the Respondent Hearing Site: Tampa, FL Merrill Lynch, Pierce, Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Abner J. Schwartz, hereinafter referred to as "Claimant": Michael J. Stanton, Esq., James, Hoyer, Newcomer & Smiljanich P.A., Tampa, FL. For M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Paul and Nancy Klein Family Trust, Claimant v. Wachovia Securities, LLC and Gary S. Ritzman, Respondents Case Number: 03-00948 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Stuart L. Leviton, Esq. Levinson, Kaplan, Arshonshy & Kurtz,A.P.C. Encino, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Pizzelanti and Lorraine Pizzelanti (Claimants) v. Bear Stearns & Co. and Frank Ribando (Respondents) Case Number: 03-00941 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Anthony Pizzelanti ("A. Pizzelanti") and Lorraine Pizzelanti ("L. Pizzelanti") hereinafter collectively referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., LLC (Claimant) v. Nitin Upadhyaya (Respondent) Case Number: 03-00938 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., LLC ("Ryan Beck") hereinafter referred to as "Claimant": Dominick J. Dorata, Esq., Scarsdale, NY. At the hearing, Robert Berson, Esq., also appeared on behalf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol J. Cecala (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Brian J. Buzak (Respondents) Case Number: 03-00936 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Carol J. Cecala ("Cecala") hereinafter referred to as "Claimant": Richard C. Engel, Esq., Engel & En

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. n/k/aUBS Financial Services, Inc. (Claimant) v. Brian N. Drake (Respondent) Case Number: 03-00933 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Paine Webber, Inc. n/k/a UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": William M. Ejzak, Esq., Schuyler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ryan Beck & Co., Inc. Case Number: 03-00925 Name of the Respondent Israr Nasir Hearing Site: Boca Raton, FL Nature of the Dispute: :jvlember vs. Associated Person, REPRESENTATION OF PARTIES For Ryan Beck & Co.[ Inc. ("RBC"), hereinafter referred to as "Claimant": Martin Cole, New York, New York. For Israr Nasir ("Nasir"), hereinafter referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Ciaimants Frank J. Elie, Nina Elie, anfl the Elie Living Trust u/a/d 2/18/93 and i Name of Respondent David F. Lau Case Number: 03-00915 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Frank J. Elie, Nina Elie, and the Elie Living Trust u/a/d 2/18/93 ("Ciaimants") were represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Amy Nislow Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Hand Merrill Lynch & Co., Inc. Case Number: 03-00911 Hearing Site: Philadelphia, PA Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant, Amy Nislow, hereinafter referred to as "Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John R. Taylor Financial Group, Inc. Case No. 00-04399 Names of Respondents A.G. Edwards & Sons, Inc. Danny L. Wilson Tonya G. Fulcher Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For John R. Taylor Financial Group, Inc. ("JRTFG") hereinafter referred to as "Claimant": Kenneth R. Shemin, Esq. of the Shemin Law Firm, P. A., Fayetteville, AR. For Re